| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | 就期貨合約提供意見 | 2020-08-31 | 2022-04-19 |
| RO | 就證券提供意見 | 2020-08-31 | 2022-04-19 | |
| RO | 期貨合約交易 | 2020-08-31 | 2022-04-19 | |
| RO | 證券交易 | 2020-08-31 | 2022-04-19 | |
| Rep | 就期貨合約提供意見 | 2015-04-01 | 2020-08-31 | |
| Rep | 就證券提供意見 | 2015-04-01 | 2020-08-31 | |
| Rep | 期貨合約交易 | 2015-04-01 | 2020-08-31 | |
| Rep | 證券交易 | 2015-04-01 | 2020-08-31 | |
| Rep | 就期貨合約提供意見 | 2012-08-01 | 2013-08-05 | |
| Rep | 就證券提供意見 | 2012-08-01 | 2013-08-05 | |
| Rep | 期貨合約交易 | 2012-08-01 | 2013-08-05 | |
| Rep | 證券交易 | 2012-08-01 | 2013-08-05 | |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期貨合約交易 | 2010-09-16 | 2012-05-30 |
| Rep | 證券交易 | 2010-09-16 | 2012-05-30 |